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ZB

Zeina S. Barton

HOLD BROTHERS CAPITAL LLC
NEW YORK, NY 10119-1510
Some features on this profile are disabled
CRD#: 5955936
ZB

Professional summary

Zeina Solange Barton, who also goes by Zeina S Barton, is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Zeina is registered as a RR (Registered Representative) and started their career in finance in 2012. Zeina has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Zeina S Barton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Zeina Solange Barton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 2, 2024 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
BD
CRD#: 151864
NEW YORK, NY
Past

June 11, 2019 - December 4, 2024

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

October 2, 2017 - June 3, 2019

EQUATEX US INC

BD
CRD#: 178524
NEW YORK, NY
Past

April 4, 2012 - September 15, 2017

R. SEELAUS & CO., LLC

BD
CRD#: 14974
SUMMIT, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 4/3/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/1/2015
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HB
HOLD BROTHERS CAPITAL LLC
HOLD BROTHERS CAPITAL LLC

CRD#: 151864 / SEC#: , 8-68404

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
Mailing Address
One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
Phone number
(212) 792-0900
Established
New Jersey since 05/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLDSOFTWARE.COM INC.CLASS B MEMBER
HOLD, GREGORY FRANCISCEO AND MANAGING MEMBER2169408
HOLD TECHNOLOGIES, LLCCLASS H MEMBER
BARTON, ZEINA SOLANGEFINOP5955936
LESSICK, ILANEVP - FINANCE, OPERATIONS & COMPLIANCE4192324
RICCA, ROBERT JCHIEF COMPLIANCE OFFICER/AMLCO/TRADING & RISK MANAGER/RETAIL MANAGER1658885
ROWE, GREGORY MICHAELCOMPLIANCE OFFICER2559751
ZAFIRIS, TOMSVP - OPERATIONS1337844

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HOLD BROTHERS CAPITAL LLC

CRD#: 151864New York, NY 10119-1510

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